The Model FA
David DeCelle
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Tech, AI, and Compliance for Financial Advisors with Bo Howell
• 38 minBo Howell is the Founder, Chairman, and CEO of Joot, a fintech organization that provides compliance tech and services for investment advisors. After serving in the U.S. Navy, Bo worked at the U.S. Securities and Exchange Commission (SEC) as Senior Counsel in the Division of Investment Management. He then worked in financial service organizations and legal firms such as Ultimus Fund Solutions and Strauss Troy before finally launching Joot in 2018. With his substantial legal, managerial, and business experience, Bo expertly identifies and meets his clients’ business needs with creative solutions. Bo joins us today to discuss SEC compliance and tech for financial advisors. He describes the role of the SEC and explains how they help protect investors as well as promote capital markets. He discusses how solo financial advisors and small firms can remain compliant while honoring their revenue-generating efforts. Bo also highlights the benefits of augmenting financial advisors with fintech and shares his predictions on how tech will advance in the financial advisory industry. “Compliance is like quality control. It lets you have confidence that your business is running smoothly, allowing you to focus on growth-related activities.” - Bo Howell This week on The Model FA Podcast: Bo’s background and his transition from serving in the Navy to founding Joot Why Bo launched Joot and how the company helps financial advisors The role of the SEC and why financial advisors should view them in a positive light How financial advisors can become more proactive when building a relationship with the SEC How tech impacts financial advisory businesses When financial advisory firms should develop their own tech How financial advisory firms can meet compliance requirements without sacrificing revenue-generating activities The similarities between business development and compliance Resources Mentioned: Book: Les Miserables by Victor Hugo Book: Delivering Happiness: A Path to Profits, Passion, and Purpose by Tony Hsieh Our Favorite Quotes: “The SEC can seem scary, but there are humans on the other side of the name.” - David DeCelle “Practice audits in advance, so it doesn’t seem like a daunting task when you get that SEC letter.” - David DeCelle “Tech advancement is always scary and disruptive, but it also creates new opportunities.” - Bo Howell Connect with Bo Howell: Joot Joot on LinkedIn Joot on Facebook Joot on Twitter Bo Howell on LinkedIn Email: Bo.Howell@Joot.io About the Model FA Podcast The Model FA podcast is a show for fiduciary financial advisors. In each episode, our host David DeCelle sits down with industry experts, strategic thinkers, and advisors to explore what it takes to build a successful practice — and have an abundant life in the process. We believe in continuous learning, tactical advice, and strategies that work — no “gotchas” or BS. Join us to hear stories from successful financial advisors, get actionable ideas from experts, and re-discover your drive to build the practice of your dreams. Did you like this conversation? Then leave us a rating and a review in whatever podcast player you use. We would love your feedback, and your ratings help us reach more advisors with ideas for growing their practices, attracting great clients, and achieving a better quality of life. While you are there, feel free to share your ideas about future podcast guests or topics you’d love to see covered. Our Team: President of Model FA, David DeCelle If you like this podcast, you will love our community! Join the Model FA Community on Facebook to connect with like-minded advisors and share the day-to-day challenges and wins of running a growing financial services firm.
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